Current Cold Shoulder Orders by Securities and Futures Commission of Hong Kong
The Securities and Futures Commission (SFC) of Hong Kong issues cold shoulder orders to restrict individuals or entities from engaging in securities activities. These orders aim to protect the market and enhance compliance by preventing misconduct. A cold shoulder order signifies that the SFC has concerns about a person’s conduct and has decided to limit their involvement in the financial services sector.
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16 Entities in Current Cold Shoulder Orders by Securities and Futures Commission of Hong Kong
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
Ms Wong Nam Marian | Individual | Apr 15, 2021 | inactive |
Mr Chu Hing Tsung | Individual | Jan 25, 2022 | inactive |
Mr Cheng Chak Ngok | Individual | Jun 3, 2021 | active |
Mr Yiu Hoi Ying | Individual | Apr 15, 2021 | inactive |
Ms Keung Wai Fun Samantha | Individual | Jan 18, 2019 | inactive |
Mr Li Kwok Cheong | Individual | Nov 25, 2024 | active |
FAQs
Why is compliance with Current Cold Shoulder Orders by Securities and Futures Commission of Hong Kong necessary?
Cold Shoulder Orders Issued by the Securities and Futures Commission (SFC) of Hong Kong are crucial for maintaining the integrity of the financial markets. These orders restrict certain individuals or entities from making transactions or exerting influence due to past misconduct or violations of regulations. compliance with these orders is essential for several reasons.
Which companies should comply with Current Cold Shoulder Orders by Securities and Futures Commission of Hong Kong?
All financial services firms, including brokers, dealers, and investment advisors, must comply with cold shoulder orders. These orders are crucial for maintaining market integrity and protecting investors. Compliance ensures that firms adhere to regulatory standards, preventing misconduct and fostering trust in the financial system. Adhering to these orders helps organizations avoid penalties and reputational damage.
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